Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

Volker Rule Compliance for Private Equity and Hedge Funds Extended

Banking, Investment Advisers, Private Equity The Federal Reserve Board has acted under section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker Rule, to give banking entities until July 21, 2016, to conform investments in and relationships with covered funds and foreign funds that were in place prior to December 31, 2013, which […] Read more →

by   |   December 19, 2014

hedge fund

FSOC Seeks Comment About Risks Posed by Hedge Funds and Other Asset Managers

Investment Advisers, Private Equity The Financial Stability Oversight Council, or FSOC, voted on December 18, 2014 to release a notice seeking public comment regarding potential risks to U.S. financial stability... Read more →

by   |   December 18, 2014

NASAA

NASAA Unveils Online Filing System for State Form D Filings

Broker-Dealer, Investment Advisers, Private Equity On December 15, 2014, the North American Securities Administrators Association, Inc. (NASAA) unveiled its Electronic Filing Depository (EFD) for use in connection with state Form... Read more →

by   |   December 17, 2014

SEC logo

SEC Distances Itself From Janus and Adopts Expansive View of Rule 10b-5(a) and (c)

Broker-Dealer, Investment Advisers, Litigation, Public Companies and Securities The SEC recently rendered an opinion in an enforcement action against two persons, John P. Flannery and James D. Hopkins, associated with an investment adviser.  In so doing, it... Read more →

by   |   December 16, 2014